Neil Richard James

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • REGAL INDEPENDENT FINANCIAL SERVICES LIMITED

    FRN 615267

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (7 Apr 2014 to 20 Oct 2014)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 13 Sep 2012)
    • CF22 Investment Adviser (Trainee) (14 Mar 2007 to 31 Oct 2007)
    • CF1 Director (AR) (12 Oct 2004 to 13 Sep 2012)
  • Regal Independent Financial Services Ltd (no longer approved here)

    FRN 403177

    • (7)Employed By (12 Oct 2004 to 14 Apr 2014)

Recent activity

Updates to this individual's record on the FCA register.

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